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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Investor Grievance Redressal	- Process of investor grievances redressal 1. Regulatory requirements 2. Procedures for handling complaints
Topic 2: Risk Management	- Risk management in a securities broking firm 1. Identifying and mitigating risks 2. Compliance and control measures
Topic 3: Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Role of the back office in a securities broking firm 2. Clearing and settlement process
Topic 4: Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles
Topic 5: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Risk management 2. Settlement processing 3. Trade execution
Topic 6: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q59-Q64):

NEW QUESTION # 59
Which of the following statements accurately describe the regulatory and operational framework regarding Clearing Banks and Clearing Members? (Select all that apply)

A. Clearing Members must irrevocably authorize the Clearing Bank to allow the Clearing Corporation to access their accounts for debiting and crediting.
B. Additional clearing accounts may be maintained for the specific purpose of enhancing collateral in the form of cash.
C. Every clearing member must maintain a separate and distinct primary clearing account for each segment.
D. Clearing Banks are responsible for determining the final net settlement obligations of the Clearing Members.
E. Clearing Members are permitted to withdraw funds from their clearing accounts in favor of third-party beneficiaries.

Answer: A,B,C

Explanation:
Statement A is correct as members must maintain separate accounts for each segment. Statement C is correct regarding irrevocable authorization. Statement E is correct regarding additional accounts for collateral enhancement. Statement B is incorrect because withdrawals are allowed only in 'self-name'. Statement D is incorrect because the Clearing Corporation (not the bank) determines the obligations.

NEW QUESTION # 60
Which of the following statements accurately describe the settlement mechanisms and schedules in the Indian Securities Market?
(Select all that apply)

A. In Cash Settlement of derivatives, counterparties exchange the underlying physical asset upon expiry.
B. Equity Cash market trades executed on T day are settled on T+1 day.
C. Exchange-traded equity derivatives contracts on Indices are cash-settled.
D. The final settlement of Currency Derivatives occurs on a T+1 basis.
E. Funds pay-in for the T+1 settlement cycle in the Cash Market must occur by 11 AM on T+1 day.

Answer: B,C,E

Explanation:
Statement A is correct (T+1 rolling settlement). Statement C is correct (Pay-in upto 11:00 AM on T+1 Statement E is correct (Indices are cash-settled). Statement B is incorrect because Cash Settlement involves exchange of price differentials, not physical assets. Statement D is incorrect because the final settlement of Currency Derivatives occurs on a T+2 basis.

NEW QUESTION # 61
Under the SCORES 2.0 mechanism, complaints are monitored by a 'Designated Body' to ensure timely redressal. Who acts as the Designated Body for complaints lodged against a Stock Broker?

A. The Depository (NSDL or CDSL)
B. The Investor Protection Fund Trust
C. Securities and Exchange Board of India (SEBI)
D. The Association of Mutual Funds in India (AMFI)
E. The Stock Exchange

Answer: E

Explanation:
For a Stock Broker, the Stock Exchange is the Designated Body. The Designated Body ensures that the concerned Entity submits the Action Taken Reports (ATRs) within the stipulated time.

NEW QUESTION # 62
Cash Management Bills (CMBs) are issued by the Government of India to fund temporary cash flow mismatches. Which of the following correctly identifies their maturity characteristics and trading platform?

A. Maturities of exactly 91 days; Traded on NDS-CALL platform
B. Maturities up to 364 days; Traded on RFQ Platform
C. Maturities less than 91 days; Traded on NDS-OM platform
D. Maturities between 91 and 182 days; Traded on CROMS
E. Maturities less than 14 days; Traded on OTC market only

Answer: C

Explanation:
Cash Management Bills (CMBs) have maturities less than 91 days. They are issued to absorb excess liquidity and fund temporary mismatches. Like Treasury bills, they are traded on the NDS-OM platform along with Government Securities.

NEW QUESTION # 63
Under the regulatory framework defined in Section 24 of the Companies Act, 2013, the administration of specific provisions for listed companies (or those proposed to be listed) is delegated to the Securities and Exchange Board of India (SEBI). Which of the following matters is EXCLUSIVELY administered by SEBI under this delegation, while remaining otherwise under the Central Government's administration?

A. Incorporation of the company
B. Non-payment of dividend
C. Registration of the company's memorandum of association
D. Conduct of Annual General Meetings
E. Appointment of key managerial personnel

Answer: B

Explanation:
Section 24 of the Companies Act, 2013, delegates the power to regulate the issue and transfer of securities and the non-payment of dividend by listed companies (or those intending to get listed) to SEBI. All other provisions of the Companies Act are administered by the Central Government (Ministry of Corporate Affairs).

NEW QUESTION # 64
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